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Results: 1-10 of 1,677

Annual Compliance Obligation Reminders
  • Vedder Price PC
  • USA
  • February 16 2018

Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool


SEC Staff Issues Liquidity Risk Management Program FAQs
  • Vedder Price PC
  • USA
  • February 13 2018

On January 10, 2018, the staff of the SEC's Division of Investment Management issued guidance in the form of frequently asked questions (FAQs


SEC Settles with Mutual Fund Administrator in Connection with Calculation of Inflated Net Asset Value
  • Vedder Price PC
  • USA
  • February 13 2018

Pursuant to an order dated January 22, 2018 (the Order), the SEC assessed a civil monetary penalty of $400,000, in addition to other penalties


House Passes Expanding Investment Opportunities Act, Which Would Ease Regulatory Requirements Applicable to Closed-End Fund Offerings
  • Vedder Price PC
  • USA
  • February 13 2018

On January 17, 2018, the U.S. House of Representatives passed a bill, referred to as the Expanding Investment Opportunities Act, that would require


OCIE Announces 2018 Exam Priorities
  • Vedder Price PC
  • USA
  • February 13 2018

On February 7, 2018, the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its 2018 examination priorities for regulated


SEC Staff Issues Guidance on Cryptocurrency-related Holdings
  • Vedder Price PC
  • USA
  • February 13 2018

On January 18, 2018, the staff of the SEC's Division of Investment Management issued a letter to representatives of the Investment Company Institute


House Committee Passes Mutual Fund Litigation Reform Act, Which Would Heighten Standards for Litigation Under Section 36(b)
  • Vedder Price PC
  • USA
  • February 13 2018

On January 8, 2018, the U.S. House of Representatives Financial Services Committee voted in favor of introducing a bill, referred to as the Mutual


Copyright Office Clarifies Rules on Protection and Damage Award Linked with Group and Database Copyright Applications
  • Vedder Price PC
  • USA
  • February 7 2018

With the continued growth of Internet-related new technologies, authors, website operators and photographers are producing larger and larger volumes


SEC Division of Investment Management Director Dalia Blass Discusses Board Outreach Initiative
  • Vedder Price PC
  • USA
  • January 29 2018

In her keynote address at the Investment Company Institute's Securities Law Development Conference on December 7, 2017, Dalia Blass, Director of the


Division of Investment Management Staff Issues Liquidity Risk Management Program FAQs
  • Vedder Price PC
  • USA
  • January 29 2018

On January 10, 2018, the staff of the SEC's Division of Investment Management issued guidance in the form of frequently asked questions (FAQs